Neil Smith

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Chase de Vere Independent Financial Advisers limited

    FRN 137914

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 6 Jun 2024)
    • [FCA CF] Functions requiring qualifications (since 6 Jun 2024)
  • DL BLOOMER LIMITED

    FRN 575235

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
    • Appointed representative dealing with clients for which they require qualification (since 7 Dec 2020)
    • [FCA CF] Client dealing (since 7 Dec 2020)
    • CF30 Customer (5 Apr 2012 to 3 Dec 2024)
  • McLay McAlister (Financial Services) Limited (no longer approved here)

    FRN 137446

    • (14)Employed By (17 May 2004 to 3 Dec 2024)

Recent activity

Updates to this individual's record on the FCA register.

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